Publications
Article - Keeping Current: Securities: Seventh Circuit’s Test for Inadvertent Investments
Published in Business Law Today, November/December 2007 issue (Vol. 17, No. 2), by Thomas Harman, Monica Parry, and Holly Hunter-Ceci.
Read the article (reprinted with permission).
Article - Statistical Screens for “Return Smoothing” by Hedge Funds: SEC & Investor Interest
Published in the Wall Street Lawyer, November 2007 issue (Vol. 11, No. 11), by Robert Mendelson.
Read the article (reprinted with permission).
White Paper - 2006 In Review: SEC, NASD, and NYSE Regulation
Selected Enforcement Cases and Developments Regarding Broker-Dealers
This Morgan Lewis White Paper focuses on selected U.S. Securities and Exchange Commission (SEC), NASD, and NYSE Regulation cases and developments in 2006 regarding broker-dealers. The number of disciplinary actions against broker-dealers varied by regulator in 2006. The SEC brought fewer cases this year than it did in 2005; NYSE Regulation initiated a slightly higher number of actions; and the NASD has not yet released statistics for 2006, but indications are that the number of cases it brought during the year may have declined compared to the number of cases brought in 2005.
Article - In Securities Deals, Plan for the Regulators: Know the Rules and Avoid Delay
Published in Legal Times, week of June 19, 2006 (Vol. 29, No. 25), by John Ayanian, Monica Parry, Beth Kiesewetter, Stephen Cohen.
Read the article (reprinted with permission).
Article - What to Do If Your Fund Becomes Subject to ERISA
Published in The Investment Lawyer (Vol. 13, No. 6, pp. 3-17) by I. Lee Falk and Daniel Kleinman.
Article - Regulatory and Operational Issues for US Advisers Investing Overseas
Published in The Investment Lawyer (Vol. 13, No. 5) by Steven Stone and J. Christopher Jackson.